1. General Management Standards

This section of the Standards is designed to ensure that
there is effective management of the service and its
resources.

Standard 1.1

All service providers must have clear management
structures that identify the roles and responsibilities of all
post holders involved in the planning, management and delivery of
the service.

Whilst some of the language and particulars of this section have
highlighted issues for voluntary organisations, the principles of
clarity of role, system and decision-making apply in all types of
organisation.

All staff and volunteers should know the boundaries around their
own roles and the roles of others in their service. These should
include, where appropriate, management committee members, paid
managers, all paid and unpaid staff.

To comply with this Standard, service providers will need:

To have a document identifying all of those involved in the
planning, management and delivery of the service

To have a document detailing special responsibilities, terms
of reference and decision making authority (delegation
procedures) and

All staff and volunteers to be able to describe the scope of
their role and, where appropriate, identify to whom, when and how
they could refer matters for decision

It is important that management structures recognise the often
stressful and potentially isolating environment within which advice
staff may be working and that they provide for adequate support
mechanisms to address these factors. For example, by ensuring that
advice staff have the requisite time and resources to manage
time-sensitive work without undue or prolonged stress.

Whilst many small services operate on the goodwill and
enthusiasm of individuals, the long term viability of a service as
individuals move on is dependent upon the clear definition of roles
and the assignment of responsibilities and expectations. The
structure and the delegation of responsibility need to be clearly
understood by everyone, so that there can be no confusion as to how
policy and strategic decisions are made, who is responsible for
their execution and for the day to day management of the
service.

In developing management structures, the service provider will
need to address a range of questions.

Who is responsible for making policy and strategic decisions
within the service?

What are their responsibilities?

Are there limits to their powers and responsibilities?

How can powers be delegated?

What are appropriate divisions of responsibility between
committee members and paid staff?

Whilst there are certain legal requirements in respect of who
is ultimately responsible for certain decisions within a service,
there is not necessarily any 'right' structure

The Charities and Trustee Investment (Scotland) Act 2005 reforms
and modernises charity law in Scotland. A key provision of the Act
is the establishment of the Office of the Scottish Charity
Regulator ( OSCAR) which is responsible for the regulation of
charities in Scotland. A Scottish charity or a charity regulated in
Scotland is an organisation entered on the Scottish Charity
Register. Any organisation wanting to be entered on to the Register
and become a charity will need to apply to OSCAR at
www.oscar.org.uk.

Organisations registered or recognised as charities in 'foreign'
jurisdictions (for example, in England and Wales) will have to
register with OSCAR if they:

Occupy any land or premises in Scotland

Carry out activities in any office, shop or similar premises
in Scotland or

Wish to represent themselves as being charities in
Scotland

Further guidance can be sought in the document Guidance on
Registration with OSCAR for Charities in England and Wales
available at
www.oscar.org.uk.

All voluntary organisations are controlled by a governing body.
These can have a variety of names, including management committee,
Board, Council, and so on. Whatever the name, they all carry
broadly the same range of responsibilities. These are discussed
below.

All governing bodies are made up of individuals. We refer to
them as 'Trustees'. A Trustee is a person responsible under the
governing document of a service for controlling the management of
that service, regardless of whether they are called committee
members, governing body members, non-executive directors, council
members, and so on. These are the people who carry the ultimate
legal responsibility for the stewardship of the assets and
resources of the service. Even where a voluntary service is
incorporated (that is, a company limited by guarantee), members of
the governing body can still be personally liable if it can be
shown that they have not acted reasonably and prudently in all
matters relating to the service.

The governing body's duty is to act in the interests of the
beneficiaries of the service. In general terms, its role can be
defined as:

Legal - to safeguard the assets, use them effectively and
ensure that the organisation operates within the law

Strategic - to set clear objectives and to establish
priorities

Operational - to support and oversee the day to day
activities of the organisation (the degree of involvement in day
to day activities varies substantially among different
organisations dependent upon size, culture, and so on)

TIP In developing a management structure,
voluntary services should consider the golden rule:
'Trustees can delegate authority but they cannot delegate
responsibility'.

The main activities of the governing body are likely to include
the following tasks:

To ensure that the activities of the service are both within
the law and within its charitable aims and objectives

To determine the mission and purpose of the service

To develop and agree policies

To develop and agree strategic plans

To agree the budget and monitor financial performance,
including accountability to funders

To ensure the service has adequate resources and that these
are effectively managed

To monitor service provision and delivery, ensuring
accountability to other stakeholders such as funders

To ensure legal accountability

To act as employer - reviewing staff performance as required,
reviewing the performance of the most senior member of staff,
setting salary levels, acting as the appeal body in personnel
matters, and so on

To regularly review the service's performance through
monitoring and evaluation

To manage the service's public relations and represent the
views of the service and

To review its own performance as a governing body

It is important that all staff and volunteers understand the
role of the governing body and its individual members. Its members
also need to be clear about their roles and boundaries of
authority. Increasingly, good practice suggests that job
descriptions should be provided for honorary officers.

The central role of the governing body within a voluntary
service is a key component in defining the management structure and
responsibilities for the service. It may decide to delegate some of
its work to sub-committees, and these should also be clearly shown
within the service's organisational chart. Any sub-committees
should have clear written terms of reference and reporting back
procedures, as the delegation of responsibilities to a
sub-committee still leaves ultimate responsibility in the hands of
the governing body.

In most services, day to day management is delegated to staff.
However, as the governing body remains ultimately responsible for
all decisions taken within the service, the manner in which
delegation occurs and processes for decision-making should be set
out clearly. The governing body is the ultimate employer of all
staff, and has to ensure that the service is well managed and
operates within agreed policies, its budgets and the law.

TIP In determining the areas where different
people have authority it is also worth considering who should speak
for the agency in public (for example, to the press), and so
on.

It is important that all stakeholders in the service know how
the service is structured, both in terms of the governing body and
staff, and who has what responsibilities. People can be enabled to
operate more effectively if they know who does what. Every service
should be able to demonstrate clearly:

The structure of the service, its committees and
sub-committees and how they interrelate and

Its staffing structure and how this relates to the governing
structure

This structure will also indicate accountabilities:

Who reports to whom

Who has what delegated responsibilities and

How decisions can be made and implemented

Services should review their structure regularly. Are there
sub-committees that were established for a specific purpose, but
which are now moribund? Does the service need a new sub-committee?
Review can ensure that the governing and managing structure of the
service meets the challenges facing the service. Any new committees
and sub-committees established should have clearly defined, written
terms of reference.

Standard 1.2

All standard office procedures must be
documented.

Procedures and practices vary greatly between services and are
subject to constant modification and improvement. The smooth
running of a service depends upon all of those involved in its
delivery being fully conversant with the practices and procedures
of the service.

To comply with this Standard, the service provider will need to
demonstrate that:

All policies and procedures are collated (normally compiled
in an Office Manual)

Responsibility for the maintenance of this manual is clearly
assigned in the management structure and

All staff and volunteers have access to this manual and it
forms a distinct part of the induction of all individuals
involved in the delivery of the service

Staff and volunteers need to know what is expected of them in
relation to overall service standards. The Office Manual should
ensure that policies and these standards are readily available to
all, so that poor performance cannot be attributed by staff to not
knowing what is expected. The Office Manual is a key resource in
the induction of new staff, volunteers and committee members.

The Office Manual will detail terms and conditions, all relevant
policies and procedures and show how such policies are made or
amended. It should contain the performance standards required
within the service and details of office practice. It is often
forgotten that good office practice and administration is one of
the key elements in ensuring that a good service is delivered to
service users. The nature and detail of all the documentation to be
included in an Office Manual will depend on the service. However,
there are basic guidelines that should be followed by all
services.

Policies

This section covers some of the detail of the policies and
procedures required in an Office Manual.

TIP The manual should be clearly divided into
sections on what the service will do (policy) and how it will do it
(procedure).

Policies relate to the regulation of the service's relationships
with the external environment, such as its responsibilities to its
service users; and to how it regulates its internal environment,
for example, how it ensures staff meet the required standards in
all aspects of their work. At a minimum, it should include:

Equal Opportunities policy

Confidentiality policy

Health and Safety policy

Grievance and disciplinary policy

Training policy

Case selection strategies and referral arrangements

Policies on service user complaints and rights of
redress

Delegations of authority and

New technology (introduction of and health issues)
policy

Procedures and Practices

It is very helpful to the efficient running of even a small
office with one or two staff, to draw up lists of all office
practices. This area will be subject to regular revision. Office
administration practices may include:

Incoming and outgoing post. Are there any special procedures
that need to be followed, for instance, in dealing with
confidential items or with letters including money or
cheques?

Telephone answering - where there is a non-casework/advice
line, who answers the phone, including lunchtime cover
arrangements

Office supplies - detailing ordering and distribution
practices

Equipment maintenance - what is done in the event of
equipment breakdown, who should be called out and who is
responsible for calling out engineers

Office security - who is responsible for overall security and
ensuring that the office is locked when unattended, and so on?
Who are the key holders in emergencies?

First Aid assistance and accident reporting - who is
responsible for maintaining adequate first aid supplies, and how
accidents are recorded and reported

Fire and other emergencies - evacuation procedures

TIP Presenting the procedures guides as a process
map rather than pages of instruction can help some people visualise
them better.

Some services issue manuals to each member of staff, which can
include their personnel records (leave cards, and so on),
arrangements for supervision and appraisal, access to training and
training records. This may be a costly option for some
services.

TIP The Office Manual should form a keystone in
the induction of all new members of staff, volunteers and
management committee members. Where individual manuals are not
issued to members of staff, the main manual must be available at
all times in an easily accessible point in the office.

It is essential that responsibility for the review maintenance
and updating of this manual should be clearly assigned in the
management structure.

Standard 1.3

All service providers must have robust systems for
financial management.

In order that both funders of services and service users can be
confident that a service can survive and meet its obligations they
need to be assured that all monies are properly accounted for and
that the service is financially viable.

To comply with this Standard, there should be clear
documentation on how responsibility for financial management is
exercised. In addition, voluntary organisations should be able to
demonstrate that accounts are monitored, at least quarterly, by
their management committee / board of trustees.

All organisations should ensure that they maintain the following
information:

An annual budget

Quarterly variance of income and expenditure against
budget

An annual profit and loss account or income and expenditure
account and

An annual balance sheet

TIP In organisations where the budget for
information and advice is subsumed within a more general budget
cost centre it is important to be able to identify the cost to the
organisation of providing this element of the service. This can be
done through calculating from workplans the percentage of each
worker's time that is devoted to provision of information and
advice, the percentage cost of office supplies for this area of
work, stationery, photocopier, postage, telephone charges, and so
on.

To meet this Standard, services will need to ensure that there
is a clear division between day to day management and
administration of the service's finances and arrangements for the
careful stewardship of the service's resources. Services need to
develop appropriate means of reporting financial and management
information to the designated decision-making bodies. Stewardship
should include both internal and external checks on the accuracy
and honesty of bookkeeping and on the preparation of accurate and
appropriate financial projections.

In preparing a financial management policy the service should
ensure that the following areas are agreed and clearly
documented:

Delegations of responsibility - these should define who has
day to day management of finances in the service and the details
of responsibility for maintaining financial records and preparing
reports

Systems and procedures for effective reporting

Procedures for preparing and approving financial plans and
budgets

Banking arrangements, cheque signatories, and so on

Arrangements for the payment of staff and other agents of the
service

Policies and procedures for purchasing goods and
services

Procedures for authorising expenditure

Procedures for controlling, opening, listing and distributing
any incoming mail that may contain money, cheques, and so on

Procedures for ensuring the security of any cash held on the
premises, including access to a petty cash box or safe, key
holders, and procedures to be adopted in the case of loss, for
example, notifying appropriate board or committee member and/or
when the police should be called

Fund-raising procedures and

Contracting signing procedures, including authorisation of
contracts placed for services purchased by the service and for
contracts placed with the service by outside purchasers

Budgets need to be constructed realistically and carefully
monitored, to ensure that good management can be practised. Careful
costing of priority areas and any new projects is essential and
reviews of overall financial performance should not only be
regular, but regularly reported to the governing body of the
service.

Two areas often overlooked in preparing budgets in voluntary
services are the real costs of administration, and the fact that
good personnel practice has a cost. Further details of preparing
budgets in line with Full Cost Recovery guidance can be obtained
from the Scottish Council for Voluntary Organisations [
SCVO].

Standard 1.4

There must be clear lines of internal
communication.

Good lines of internal communication are important to ensure the
efficient operation of the service and as a mechanism for updating
all staff in policies, procedures or priorities.

To comply with this Standard, there should be regular meetings
for all individuals involved in the delivery of the service.

There are two reasons for this Standard. The first is to ensure
the efficient operation of the service and familiarity of all with
its key policies and procedures and any changes to these. The
second is to ensure a good flow of information about changes in
case law and practice and other issues that may arise in advice
work among the different advisers in a service.

There are a wide variety of ways in which internal communication
can be facilitated. Whatever means are chosen, services need to
consider some fundamental principles. Prior to deciding the most
appropriate means of communication, services need to define:

What needs to be to communicated and

Why this needs to be communicated

The means for internal communication may include:

Team meetings

Office intranet

Memos

Notice boards and

Supervision sessions

For any of these or other means that the service identifies as
helpful, clear guidelines will ensure their effective use. These
guidelines should include:

Agendas for meetings

When meetings will be held to ensure all appropriate staff
and volunteers can attend

Length of meetings

The input expected from participants and any limits to their
input

Whether meetings are intended to make decisions or are for
information only

Any requirements upon staff and volunteers to attend
meetings

Circulation lists of publications and updating materials

Procedures for ensuring notice is properly given and

Responsibility for taking and distributing meeting notes

Internal communication is only effective if people feel that it
is focused and useful. For this reason, good practice suggests
that:

Meetings should have clear agendas which are circulated in
advance wherever possible. Open-ended, unstructured meetings can
confuse as much as they can enlighten

Meetings which are overlong are not a good use of resources.
Meetings often overrun where there is no clear agenda and where
the facilitation of a meeting is not well controlled. Well
chaired meetings achieve more than meetings which are
undisciplined

Setting the times for meetings is also important. Bear in
mind the needs of staff and volunteers who have caring
commitments or work part-time or only at some times during the
week

Where regular team meetings form an important part of
internal communication mechanisms, staff and relevant volunteers
should be expected to attend, unless they have very good reason
for absence. Staff and volunteers will make excuses not to attend
meetings if they think they are not worthwhile, because they will
normally prioritise their advice specific work, with such
meetings receiving a low priority

Where internal notice boards are used, the service should
ensure that these are regularly updated

TIP Formal minutes are not always required for
team meetings but an agenda and a note of the main points discussed
and any decisions made is a useful record. Notes should be filed
for future reference and shared with anyone not able to attend the
meeting to make them aware of decisions affecting them or their
area of work.

Standard 1.5

Each service provider must be able to demonstrate that it
is complying with all relevant general legislation.

All services must stay within the law to protect those
responsible for the planning, management and delivery of the
service from the risk of prosecution and to maintain public
confidence in the service delivered.

To comply with this Standard, service providers will need to
demonstrate:

Knowledge of the legislation relevant to the service (for
example, Company Law, Charity law) and its role as a service
provider (for example, Public Liability Act) and as an employer
(for example, Health and Safety) and

Evidence that current insurance provides the necessary
protection, for example, Public Liability, employer's insurance,
and so on

The need to stay within the law and to protect all of those
responsible for the planning, management and delivery of the
service from the risk of prosecution is self-evident. In addition,
as a service that is concerned with protecting the legal rights of
service users, service providers should place a special emphasis on
ensuring that they are above reproach.

This Manual does not provide an exhaustive list of the legal
requirements placed upon service providers. These are many and
various, dependent in part upon the size of a service, the number
of staff employed and the type of work undertaken. In addition,
services that are branch offices of organisations that are based in
England may be subject to English Law as well as Scots Law. All
UK law affecting
services, whether passed at Westminster or Holyrood, is now subject
to laws approved by the European Commission.

Other general areas of law that are likely to affect most
service providers include:

Areas of law that are likely to impact upon Information &
Advice Services providers include:

The Consumer Credit Act 1974

If providing any advice on financial matters, particularly debt,
services are required to register with the Office of Fair Trading
and secure a licence to undertake this work. More detailed
financial planning advice may bring services within the scope of
the Financial Service Acts and will require registration with the
appropriate regulatory body: